TO: All NASD Members
ATTN: Operations Principals, Cashiers and Buy-In Personnel
On October 19, 1984, amendments to Sections l(c) and 59(j), "Buy-In Procedures," of the Association's Uniform Practice Code, were approved by the SEC. The Code prescribes the manner in which over-the-counter securities transactions other than those cleared through a registered clearing agency are
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position LimitsRule 2860
Executive Summary
On January 25, 2007, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
Rule 2860 extening until September 1, 2007
<p>NASD Rule 1020 Series - Registration of Principals</p>
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Options
Position LimitsRule 2860
Executive Summary
On August 10, 2006, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule 2860 extending until March 1, 2007
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Fingerprint results are posted to an individual’s CRD record typically within 24-36 business hours after FBI receipt.Entitled users can view the status of fingerprint submissions in FINRA Gateway and CRD by selecting the Show Statuses button and accepting the special Terms and Conditions to view the FBI results. Viewing Criminal History Record Information (CHRI) requires the additional “View CHRI
FINRA Continues Nationwide Initiative Investigating Broker-Dealers Engaged in Private Placements
GUIDANCE
Short Interest Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Short InterestRule 3360
Executive Summary
On February 3, 2006, the Securities and Exchange Commission (SEC)
approved amendments to Rule 3360 relating to the short interest
reporting
